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PennantPark Floating Rate Capital
PFLT

Overview Fund Activity

97 hedge funds and large institutions have $170M invested in PennantPark Floating Rate Capital in 2018 Q4 according to their latest regulatory filings, with 23 funds opening new positions, 27 increasing their positions, 32 reducing their positions, and 15 closing their positions.

New
Increased
Maintained
Reduced
Closed
Holders
97
Holders Change
+8
Holders Change %
+8.99%
% of All Funds
2.16%
Holding in Top 10
2
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
0.04%
New
23
Increased
27
Reduced
32
Closed
15
Calls
$4K
Puts
$16K
Net Calls
-$12K
Net Calls Change
-$14K

Top Buyers

1
AM
1
Ares Management
California
$9.67M
2
LCP
2
LGT Capital Partners
Switzerland
$11.8M
3
BRWM
3
B. Riley Wealth Management
Tennessee
$2.22M
4
PA
4
PFG Advisors
Arizona
$1.96M
5
CCM
5
Castine Capital Management
Massachusetts
$1.43M

Top Sellers

1
BRF
1
B. Riley Financial
California
$0
2
TYCC
2
Texas Yale Capital Corp
Florida
$0
3
UBS Group
3
UBS Group
Switzerland
$8.2M
4
Stifel Financial
4
Stifel Financial
Missouri
$2.65M
5
Janney Montgomery Scott
5
Janney Montgomery Scott
Pennsylvania
$5.21M
Name Holding Trade Value Shares
Change 		Shares
Change %
FANJ
76
Financial Architects (New Jersey)
New Jersey
$81K – – –
TRCT
77
Tower Research Capital (TRC)
New York
$56K +$51.7K +4,448 +1,189%
QCIG
78
Quad-Cities Investment Group
Iowa
$48K +$148 +13 +0.3%
FHA
79
Flagship Harbor Advisors
Massachusetts
$48K +$48K +4,183 New
CFGS
80
Concourse Financial Group Securities
Alabama
$19K +$19K +1,665 New
AIC
81
Ameritas Investment Company
Nebraska
$13K +$13K +1,085 New
UBS AM
82
UBS AM
Illinois
$12.3K -$544 -47 -4%
Simplex Trading
83
Simplex Trading
Illinois
$12K +$12K +1,086 New
FWM
84
Focused Wealth Management
New York
$9K – – –
AP
85
Atwood & Palmer
Missouri
$7K – – –
RFC
86
Regions Financial Corp
Alabama
$7K – – –
APA
87
American Portfolios Advisors
New York
$6.98K – – –
TFS
88
TrustCore Financial Services
Tennessee
$6K +$6K +477 New
Citigroup
89
Citigroup
New York
$4K – – –
KPW
90
Kore Private Wealth
New York
$4K +$4K +320 New
EWM
91
Edge Wealth Management
New York
$3K -$21K -1,750 -88%
Barclays
92
Barclays
United Kingdom
$2K -$9.79K -759 -83%
FHB
93
First Hawaiian Bank
Hawaii
$2K – – –
FIA
94
FNY Investment Advisers
New York
$2K +$2K +180 New
WDL
95
Well Done LLC
Michigan
$1K +$1K +64 New
CC
96
Claybrook Capital
Massachusetts
$1K +$1K +64 New
BRF
97
B. Riley Financial
California
– -$2.45M -186,236 Closed
CAS
98
Cue Advisory Services
Arizona
– -$1.9M -144,619 Closed
TYCC
99
Texas Yale Capital Corp
Florida
– -$1.05M -79,444 Closed
Two Sigma Advisers
100
Two Sigma Advisers
New York
– -$371K -28,246 Closed
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4
5